Flowchart for Destroying I-9 Forms - Office of Human Resources ...

University of Wisconsin—MadisonI-9 Reference ManualA Guide for Complyingwith the I-9 Form RequirementsDeborah Ahlstedt/Jennifer TaylorInternational Faculty & Staff ServicesUniversity of Wisconsin – MadisonOffice of Human Resources21 North Park Street, Suite 5101Madison, WI 53715(608) 265-2257dahlstedt@ohr.wisc.eduJanuary 2009

TABLE OF CONTENTSQuick Reference I-9 Form Flowchart…………………………………………………….…..…. 5Record Retention and Reverification Flowchart…………………………….…………………... 6Flowchart for Destroying I-9 Forms…………………………….………………………….…… 7Background………………………………………..……………………....……….……………. 8Basic Employer Responsibilities………………….………………...………………………...… 8Penalties…………………………………..….………………………….………………………. 9Types of violationsAmount of finesPotential loss of research fundsLiability for penalties at UW-MadisonWhen an I-9 Form Must be Completed/Who Must be Verified………..…………………….… 10DHS Requirements…………………………………..…………………………….….... 10Who must be verifiedExceptions to DHS RequirementsUW-Madison Positions………………………………………………………..……...… 11Which positions must be verifiedWhen is verification not necessaryWhat Constitutes a Break in Service………………..……………………………..…… 12Independent Contractors…………………………..……………………………………. 13DHS definitionActivities at UW-MadisonProcedures for Completing the I-9 Form.……….…………….…………….………………….. 14Timing………………………………………………………………………….……….. 14When to start the process and when it should be completedWhat to do if the person is not physically present in MadisonDepartment Responsibilities at UW-Madison……………………….……………….… 15Designate and train individuals to do I-9 FormsComplete the process in a timely mannerPay fines if assessedDocument Retention………………………………………………………………….… 16How long to retain the I-9 FormsEstablishing a Filing System/ReverificationWhen to Destroy I-9 Forms2

Anti-Discrimination Procedures…………………………………………...…………… 16Prohibition against US citizen-only hiring policyConsistency in treatment of all employeesCannot request specific documentsI-9 Form Section by Section Analysis……………………………………………….…………. 18Section 1………………………………………………………….…..…………………. 18When to completeEmployee requirementsEmployer requirementsExplanation of documentsPreparer/translator attestationSection 2………………………………………………………………………...………. 19When to completeHow to completePhotocopy documentsVerify documents are genuineVerify documents relate to the employeeVerify documents are acceptableProcedureReceipts in lieu of original documentsWhat is an acceptable receiptHow long is a receipt acceptableHow to fill in receipt informationReceipts when work authorization has an expiration dateSection 3………………………………………………………………………………… 24Updating and ReverificationUS citizens and permanent residentsWhich needs to be done and whenUpdating proceduresReverification proceduresWhen an employee is rehired after a break in serviceWhen work authorization has an expiration dateWho must be reverifiedEmployer obligationsWhat documents are acceptableLeave of absence vs. termination“Processed for I-551” stampUpdating of TA/PA and C Basis AppointmentsWhen updating is necessaryHow to complete the I-9 FormAcceptable documents……………………………………………….…………………. 28Expired documentsUnexpired foreign passportSocial Security cards3

Immigration Terminology………………………………….…………………… 29Visa vs. immigration statusAlien numberI-94/arrival/departure numberOfficial DHS Lists of Acceptable Documents……………….…………………. 30List AList BList CMost Common Immigration Statuses at UW-Madison and the DHS DocumentsWhich Grant that Status………………………………………………………… 31Permanent Residents/Immigrants: I-551Non-immigrants: I-94B-1/B-2 status: I-94J-1 Exchange Visitors: DS-2019J-2 Dependents: DS-2019 and EADF-1 and J-1 Students: I-20, EAD and DS-2019H-1B status: I-797 and I-94E-3 status: I-797 and I-94O-1 status: I-797 and I-94TN status: I-797 and I-94Refugees status: I-94 and EADQuick Reference Guide for Certain Individuals with Work Authorization………………….…. 36Non-immigrant I-9 Form DocumentsHow to Complete the I-9 Form for Certain Non-immigrantsQuick Reference ChartOverview, Do and Don’t…………………………………………………………..……………. 40Checking and Correcting Existing I-9 Forms……….……………….…………………………. 41Appendices……………………………………………………………………………………… 43A. Sample LettersB. Sample DocumentsVisasSamples from the official DHS Handbook for EmployersI-797 Receipt and Approval NoticesC. Properly Completed I-9 Forms with Sample Documents4

Quick ReferenceI-9 Form FlowchartFor detailed information on each step, see appropriate sections in textindicated by page numbers in the boxes.Date Job OfferedDoes new hire need tobe verified? P. 11NoStop here.YesEmployer sends I-9 Form with instructions and acceptable document list to new hire along with offer letter,which must include the qualifier statement regarding payroll eligibility being contingent on completion ofthe I-9 Form. If no offer letter is sent, i.e. student hourly, the I-9 Form should be provided at the time theposition is offered. P.15New hire fills out Section 1 completely;fills in each line; checks one of the fourboxes; and signs and dates the I-9. P. 18First Day of WorkNew hire presents completed I-9 to employer. P.18Employer reviews Section 1 to ensure that all blanks have beencompleted, and the new hire has signed and dated the I-9. P. 18NoReturns toemployee tore-do.By Third Day of WorkYesNew hire presents documents of his/her choice. P. 19Employer reviews documents to ensure that they: include one from ListA or one each from Lists B and C; appear to be legitimate; and establishidentity and employment eligibility. P. 19Have employeereview document listand select new oradditionaldocuments.YesEmployer completes all information in Section 2; signs and dates the I-9Form; copies all documents used and attaches them to the I-9. P. 20Employer files I-9 Form and attached documents. P. 16See next chart on Record Retention.5

Record Retentionand ReverificationRecord retention see page 17.Reverification see page 25.Did new hire indicate awork authorizationexpiration date, and/or didthe document(s) in Section2 have an expiration date?Employer files I-9 Form.Must be retained for 3 yearsfrom hire date or 1 yearfrom termination, whicheveris LATER, then shredded.YesEnter new hire’s expirationdate into I-9 tickler system.File I-9 Form with attachedphotocopies.Employer notifies employeeof need to reverify workauthorization 120 days priorto expiration date.NoYesEmployer reverifies workauthorization prior toexpiration date.Did the employee indicate a workauthorization expiration date,and/or did the document(s) havean expiration date?6

Flowchart forDestroying I-9 FormsHas the employeeterminatedemployment?NoYesIs the employee’shire/rehire date morethan three years ago?NoDo NotDestroy theI-9 Form.YesIs the employee’stermination datemore than one yearYes ago?NoYesIf you answered“yes” to all threequestions above,you may destroythe I-9 Form.7

EMPLOYMENT ELIGIBILTY VERIFICATIONNOTE 1: Effective 2 February 2009, employers are required to use the February 2009 versionof the I-9 Form, available at: http://www.DHS.gov/files/form/i-9.pdf. Other changes effective2/09 include:1. No documents may be expired2. Certain documents have been added to and deleted from the lists of acceptabledocuments. See the Acceptable Documents section of this manual and the list ofdocuments attached to the I-9 Form.3. Reverification must be completed on the February 2009 version of the I-9 Form.4. A separate check box has been added to Section 1 for Noncitizen Nationals of theUnited States. See I-9 Form Section by Section Analysis, Section 1, for details.NOTE 2: Although certain key points are highlighted for quick reference at the beginning ofsome sections of this manual, it is important to read the entire section. Any questions should bedirected to International Faculty and Staff Services (IFSS) or the Dean’s office.NOTE 3: Classified Permanent Employees are to be treated in the same way as all otheremployees. The 1998 version of the I-9 Manual indicated that they should be handled differentlyas far as document retention is concerned. This is no longer the case.BackgroundThe Immigration Reform and Control Act of 1986 (IRCA) for the first time in US historyimposed penalties on employers for knowingly hiring or continuing to employ individuals whoare not authorized to work in the US. Illegal employment has been an increasing problem in thiscountry, and Congress enacted IRCA in an effort to stem the flow of illegals into the US byimposing sanctions on employers. The law requires employers to verify the identity andemployment eligibility of all employees hired after 6 November 1986 on a form called the I-9.IRCA, as modified by the Immigration Act of 1990 (IMMACT90), also prohibits employersfrom engaging in “Unfair Immigration Related Employment Practices.” IRCA’s antidiscriminationprovisions complement those found in Title VII of the Civil Rights Act of 1964.The anti-discrimination provisions provide employees with extensive protections. See the “Anti-Discrimination” section for details.Therefore, employers must achieve a very fine balance between ensuring that all employees areauthorized to be employed in the US, and not engaging in discrimination. The main point tokeep in mind is to apply the exact same standards and procedures to everyone in the employmentverification process. Consistency is essential.Basic Employer ResponsibilitiesAt UW-Madison, the Department is considered to be the employer for the purposes ofemployment eligibility verification. All employer responsibilities indicated throughout thismanual refer to the employing department.IRCA requires employers to:8

*Establish a policy of hiring only individuals who are authorized to work.*Complete an I-9 Form for all new hires, including US Citizens.*Ensure that employees fully and properly complete Section 1 of the I-9 Form by the timeemployment begins.*Permit employees to present any document or combination of documents acceptable by law.*Fully and properly complete Section 2 of the I-9 Form, sign and date the employer certificationwithin three business days of the hire date, or on the hire date if the employment is for less thanthree days.*Monitor work authorization expiration dates and request new proof of employmentauthorization prior to the expiration date.*Retain the I-9 Form for three years after the date of hire or one year after termination,whichever is later.*Make the completed I-9 Forms available for inspection by the Department of HomelandSecurity (DHS) or the Department of Labor (DOL) for potential employer sanction violations, orthe Office of Special Counsel for Immigration Related Unfair Employment Practices (OSC) forpotential anti-discrimination violations.PenaltiesKey Points:*Penalties can be assessed for seemingly minor paperwork violations.*Federal research funds may be lost.*The employing department or division is responsible for paying any penalties assessed.Under IRCA, both DHS and DOL may investigate an employer’s records to determine if the lawhas been violated, upon giving three days advance notice. Enforcement of IRCA has been givenhigh priority by both agencies, and substantial fines have been levied against employers, even forseemingly inconsequential paperwork violations.For hiring or continuing to employ individuals who are not authorized to work, there are civilpenalties of:First offense: $275 to $2,200 per individual;Second offense: $2,200 to $5,500 per individual; andSubsequent offenses: $3,300 to $11,000 per individual.Failure to properly complete, retain and/or make available for inspection I-9 Forms can result incivil penalties of $110 to $1,100 per violation. The government considers each mistake on theI-9 Form to be a separate violation, so fines can add up quickly.Similarly, penalties are imposed on employers who violate the anti-discrimination provisions ofthe law. The penalties for violating the anti-discrimination provisions are the same as thepenalties for hiring or continuing to employ unauthorized individuals. There is also a fine of$110 to $1,100 per person for making an unlawful request for more or different documents.Civil penalties can also be imposed for knowingly using, accepting or creating a fraudulentdocument:First offense: $275 to $2,200 per document9

Second and subsequent offenses: $2,200 to $5,500 per document.Criminal penalties can be imposed on employers who engage in a pattern or practice ofknowingly hiring or continuing to employ unauthorized individuals, or who engage in fraud orfalse statements, or otherwise misuse visas, immigration permits and identity documents. Finesof up to $3,000 and/or a prison term of up to five years can be imposed against the employer.The Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA) placedlimits on liability for certain technical violations of paperwork requirements. Employers whocan demonstrate a “good faith attempt” to comply with the verification requirements are exemptfrom penalties provided they remedy the violation within ten days of being informed of it. Thegood faith defense for errors in entering the document information only applies if a copy ofthe document is attached. Therefore, it is especially important to attach to the I-9 Form acopy of all documents listed in Section 2. Employers who engage in a pattern and practice ofviolations do not benefit from this exemption.In addition, IIRIRA limits an employer’s liability for requesting more or different documents tothose instances in which the request was made with the intent to discriminate.Although these new provisions reduce the likelihood of being fined, it is still very important tomake every effort to fully comply with the IRCA requirements.Loss of Research FundsAnother potential consequence of violating the IRCA provisions could be the loss of federalgovernment research funds. In 1996, President Clinton issued Executive Order 12989 whichorders federal agencies to bar employers who hire unauthorized aliens from procuringgovernment contracts for a period of one year. Therefore, good faith efforts to fully complywith IRCA are essential to continuing the government-funded research activities of thisUniversity.Liability for Penalties at UW-MadisonEach department is responsible for properly verifying the identity and employment eligibility ofall new hires, as well as monitoring the continuing employment eligibility of those individualswhose work authorization carries an expiration date. The responsibility for any violation ofIRCA regulations, including hiring or continuing to employ an unauthorized individual, failing tocomplete an I-9 Form or completing it improperly, rests on the Department. If a federal auditoccurs and fines are assessed for violations, the department that committed the violations willbe responsible for paying the fines.When an I-9 Form Must Be Completed/Who Must Be VerifiedDHS RequirementsKey Point:*An I-9 Form must be completed for every new employee hired after 6 November 1986.This applies to all new hires, including US citizens.10

The only exceptions applicable to UW-Madison are for:*Individuals hired prior to 6 November 1986 who are continuing in their employment;*Independent contractors; and*Persons who provide labor who are employed by a contractor providing contractservices.DHS has further clarified that the following individuals are not considered to be “new hires”for I-9 purposes:*an employee who returns from an approved paid or unpaid leave of absence;*an employee who is promoted, demoted or gets a pay raise;*an employee who returns from a temporary layoff due to lack of work;*an employee who returns after a strike or other labor dispute; or*an employee who is reinstated after a wrongful discharge.In all instances, the individual must have had a reasonable expectation of being able to resumeemployment.UW-Madison PositionsPositions that must be verified:*all paid employees hired after 6 November 1986, including full-time, part-time,permanent, non-permanent, and student employees.*all employees who have terminated employment and, after a break in service (anyperiod of actual resignation or termination), are rehired in either the same or a differentposition. If the employee is rehired within three years of having completed the original I-9 Form, the form can just be updated. See the “Updating” section of this manual.*all employees who transfer from another UW System institution to UW-Madison orfrom state government.*all employees who assume a new position in a different Department, unless theirposition is one of those listed below that do not need to be verified.*all employees of another UW System institution who provide services to UW-Madisonand are actually put on UW-Madison’s payroll. However, if funds are transferred to theother institution under an Inter-Institutional Agreement (IIA), no I-9 Form is needed.*all retired annuitants who are rehired.Positions that do not need to be verified:*employees who assume new positions due to a change in duties within the sameDepartment with no break in service, such as:-academic or classified staff who change to a new academic or classified staffposition in the same Department with no break in service or;11

-an LTE who takes a concurrent or immediately successive appointment in thesame Department with no break in service.*employees hired prior to 6 November 1986 who still are employed by the sameDepartment.*zero dollar appointments provided there is no funding responsibility.*employees hired prior to 6 November 1986 whose employment has been temporarilyinterrupted due to an approved, paid or unpaid, leave of absence in which the employee atall times had a reasonable expectation of returning to work.*employees assigned to a work site outside the US who perform no services within theUS. However; if the employees come to the US to work, even for a brief period of time,verification must take place.*independent contractors (see discussion below).*individuals on a scholarship or fellowship with the following titles:Postdoctoral Fellow—X10NNPostdoctoral Trainee—X30NNGraduate Intern Trainee—X75NNFellow—Y21NNScholar—Y22NNTrainee—Y23NNAdvanced Opportunity Fellow—Y26NNResearch Assistant—Y41NNBecause individuals in these positions are paid stipends, rather than wages, completionof the I-9 Form for individuals in a non-immigrant status with these titles could jeopardize theirstatus.What constitutes a break in service?DHS specifically defines continuing employment as periods during which an employee is on anapproved, paid or unpaid, leave of absence and has a reasonable expectation of continuingemployment at all times. Therefore, an I-9 Form does not need to be completed upon the returnfrom an approved leave of absence, even those who were hired prior to 6 November 1986 andhave no I-9 Form on file. This includes minor breaks, such as a weekend between successiveLTE appointments. However, if the person resigns or is terminated and there is a break inservice, even for one day, a new I-9 Form must be completed (or the old one updated, if therehire is within three years of the completion of the original I-9 Form – see “Updating” sectionfor details) upon return to work.The employment of employees in a non-immigrant status whose status expires prior to thefiling of an extension of stay application to the DHS must be terminated; they may not beput on a leave of absence. Employees using an Employment Authorization Document12

(EAD) must have a new EAD before the old one expires; otherwise their employment mustbe terminated. Also, the employment of those who do not obtain DHS approval of a changeof status prior to the expiration date of their prior status must be terminated. Theemployees must therefore complete a new I-9 Form upon returning to work, after receiving DHSapproval of the extension of stay or change of status. For more detailed information, see the“Reverification” section.Independent ContractorsKey Points:*Independent contractors do not need to be verified.*Independent contractors do not have an employer/employee relationship with theUniversity, nor do they receive any fringe benefits or insurance.While all employees need to be verified, independent contractors do not. DHS defines anemployee as any person who “provides services or labor for an employer for wages or otherremuneration.” DHS does not have a succinct definition of an independent contractor. Simplyreferring to a person as an independent contractor does not necessarily make it so; selfemployedpeople are not always independent contractors according to DHS.The key issue is the degree of control that the employer has over the manner in which the work isperformed. Generally, an employment relationship exists if the employer directs and controls theindividual in the way the work is performed, both as to final results and as to the details of when,where and how the work is done. The employer does not need to actually exercise the control; itsimply must have the right to do so.An independent contractor relationship exists if the employer does not control what work mustbe done or how the work must be done, only the result of the work. Independent contractorsinclude individuals or entities that carry on independent business, contract to do a piece of workaccording to their own means and methods, and are subject to control only as to results.With regard to academic activities, the UW System has developed criteria for determining ifpersons providing services for the UW System are employees or independent contractors. Someservices provided by independent contractors represent special talents needed by the Universityon a temporary basis to fulfill its missions of instruction, research and public service. Thesespecialized academic support services may be provided by an individual professional or by anybusiness or organization that can provide the necessary talent. Other independent contractorsmay include:SpeakersGuest lecturersConsultantsOfficials for athletic events; andContest judges.Independent contractors are not eligible for fringe benefits and are not covered by Universityliability insurance.13

For additional information, see the University of Wisconsin System Personal Services PaymentsDocument F31: http://www.uwsa.edu/fadmin/fppp/fppp31.htm.Procedures for Completing the I-9 FormTimingKey Points:Section 1*On or before first day of employment, but after the date the position was offered.Section 2*First day if employment is less than three days.*Within three business days if employment is longer than three days.*If the employee is not in Madison, the I-9 Form must still be completed within therequired time frame.The I-9 Form may be completed before employment begins, but it must be completed withinthree business days of the starting date. However, if the employment is for less than three days,the I-9 form must be completed on the first day of hire.The I-9 Form should never be completed before the person is offered the position, because itcontains information that could lead to discrimination charges.It is permissible to complete the I-9 process after the person is hired but before employmentbegins, but the hiring unit must be consistent about when the process is completed for allemployees. The best way to be consistent is to give all employees the choice of when tocomplete the process, either before the employment begins or within three business days of thehire date.Section 1 should be completed no later than the first day of employment, and Section 2 should becompleted by the third day of employment. Although the employee may complete Section 1ahead of time, the actual verification must be done in person and original documents, notphotocopies, must be presented. The verification must be conducted in person, because theemployer is required to verify the person’s identity and examine original documents.When the employee will not be working in Madison, or is not physically present in Madison onthe start date, the I-9 process should still be completed within the required time frame. TheDepartment should designate someone to complete the process on its behalf. The designatedperson does not need to be a UW-Madison employee, but does need to physically examine theoriginal document(s), record the information on the I-9 Form and forward the original I-9 Form,with photocopies of the document(s), to the Department. Departments should make every effortto have the process completed within the required time frame. However, if that is not feasible invery unusual cases, the I-9 Form should never be backdated to make it appear to have beencompleted at the appropriate time. A memo should be attached explaining the reason(s) why thedeadlines were not met.14

If the new hire is not a US Citizen, non-citizen national or permanent resident and is not in theUS on the hire date, but payment begins before the person enters the US, the I-9 Form cannot becompleted because the person would not have any immigration status. The I-9 Form should becompleted as soon as the person enters the US, and an explanation of the delay in completing theI-9 Form should be attached.Departmental Responsibilities at UW-MadisonKey Points:*Designate and train one or more individuals in the I-9 process.*Send a blank I-9 Form to all new hires.*Complete the I-9 process within the appropriate time limit.*Set up and maintain a filing system, including a tickler system for reverification.*Pay fines, if any are assessed.A blank I-9 Form, along with instructions and the acceptable document list should be sent to allnew employees with the offer or appointment letter. The I-9 Form is available from HumanResources or it can be downloaded from the following website.http://www.DHS.gov/files/form/i-9.pdfThe I-9 Form may be photocopied, but the document list and instructions must be attached. It isacceptable, even advisable, to type in the Department information, using a complete streetaddress, before photocopying, to avoid inadvertent omissions. The new hire should be instructedto complete the employee section (Section 1) on or before the first day of work, and present theform and appropriate documents upon reporting for work.Each Department should designate one person who will have primary responsibility forcompleting the I-9 Forms. In the case of large Departments, more than one individual may bedesignated, but all should have adequate training in the I-9 process. On the first day ofemployment, the hiring Department should request the I-9 Form and documents from the newemployee, and complete the verification process by attaching photocopies of the document(s) tothe I-9 Form. This should not be done more than three business days after the start date ofemployment. The Department should set up a tickler system for those I-9 Forms that need to bereverified. See the “Document Retention” section below for details.Each Department is responsible for ensuring that the entire I-9 process is conducted properly andin a timely manner. The employer is responsible for reviewing and ensuring that the employeefully and properly completes Section 1 of the I-9 Form. This includes ensuring that theemployee fills in all the information, checks the appropriate box and signs and dates the form.Effective November 2007, employees are not required to put a Social Security Number inSection 1. An employee should not be put on payroll until the I-9 Form has been completely andproperly filled in. Proper completion of the I-9 Form should not be taken lightly, as it is a swornstatement on the part of both the employee that the information given is correct, and theemployer that the documents have been examined and recorded on the I-9 Form.15

NOTE: As detailed in the “Penalties” section, the employing Department is responsible for anyfines levied upon the University for errors or omissions on the I-9 Forms in their Department orfor failing to complete I-9 Forms.Document Retention:Key Points:*Retain the completed I-9 Form and attached photocopies for three years after the hiredate or one year after termination, whichever is later.*Set up a filing system to facilitate updating, reverifying and disposing of outdated I-9Forms.A copy should be made of each document noted on the I-9 Form and the copies should beattached to the Form. The completed I-9 Form with photocopied documents attached should beretained by the hiring Department for all employees.The I-9 Form and attached photocopies must be retained for three years after the hire date or oneyear after the termination date, whichever is later. The I-9 Form of a current employee shouldNEVER be discarded. The Forms should be kept in a separate file, or in the personnel file. Ifthe I-9 Forms are kept in the personnel file instead of a separate one, they should be placed in asealed envelope. There should be some way of identifying on the face of the envelope if andwhen the I-9 Form needs to be reverified. If someone other than the employee has a legitimateright to review the personnel file, the I-9 envelope should be removed and secured by thepersonnel representative. When the personnel file is returned, the personnel representativeshould return the sealed I-9 envelope to the file.Departments should set up a filing system that works best for them, depending on the number ofemployees, rate of turnover, frequency of re-hires, etc. In any case, the system should facilitateidentifying those I-9 Forms that will require reverification and the date by which it should bedone, as well as when the I-9 Forms should be discarded. At least once a year, the I-9 Formsshould be reviewed to identify those employees whose employment was terminated at least oneyear ago and whose hire date is more than three years ago. Those I-9 Forms should be destroyed(see the Flowchart for Destroying I-9 Forms in the front of this manual.)Anti-Discrimination ProvisionsKey Points:*All employees should be treated exactly the same when completing the I-9 Form.*No US Citizen only policy.*Do not request specific documents.*Offer all employees the option of completing the process prior to starting employment, orwithin three business days of the hire date.*Do not make certain employees go to another location to do the I-9 Form.The anti-discrimination provisions protect job applicants from the following:1. National Origin Discrimination. An employer cannot refuse to hire anyone becausethe person is of a certain national origin. This applies to anyone who is authorized towork in the US.16

2. Document Abuse. An employer cannot refuse to accept certain documents, providedthey are acceptable documents for I-9 purposes, and may not demand to see certaindocuments, provided the employee has presented acceptable documents. This appliesto anyone who is authorized to work in the US.3. Citizenship Status Discrimination. An employer may not refuse to hire someonebased on their citizenship or immigration status in the US. This provision is morelimited than the national origin provision, since it only applies to those who are fromthe Immigration Reform and Control Act (IRCA) “protected classes,” which area. US Citizens and nationals;b. Lawful permanent residents;c. Lawful temporary residents;d. Refugees; ande. Asylees.The citizenship status discrimination protection does not extend to non-immigrants. Nonimmigrantsare individuals who enter the US with a visa that permits them to remain onlytemporarily in the country, such as B-2 tourists, F-1 students, J-1 exchange visitors or H-1Btemporary workers.It is illegal to have a “US Citizens only” policy. Employers may require US citizenship only if afederal, state or local law, or a government contract requires it.Consistency is the key to complying with the anti-discrimination provisions of the law.Department of Homeland Security instructions specifically state “employers cannot set differentemployment eligibility verification standards or require different documents from differentgroups of employees.”Employees can choose which documents they want to present from the lists of acceptabledocuments. An employer cannot request that an employee present more or different documentsthan are required or refuse to honor documents on the official list(s) which, on their face,reasonably appear to be genuine and to relate to the person presenting them. It is illegal to refuseto accept a document or to hire an individual simply because the person’s work authorization hasan expiration date in the future.Employers may complete the I-9 Form prior to the first day of work (but NEVER prior tomaking a job offer); however, this option must be offered consistently to everyone, and theemployee must be able to choose the timing. A discrimination charge could be filed if someemployees are verified at a different time in the process than others, unless they made the choice.Also, certain individuals or groups of individuals should not be verified in a different place thaneveryone else. It is acceptable to process some in a different location, provided that all who arein the same situation are processed in the same location. For example, in a large department,there may be several individuals who process I-9 Forms. This is not a problem provided there isa consistency regarding who is processed in which location. Likewise, students may be verifiedat different locations during orientation than during the rest of the school year, and groups ofstudents who will be working in a certain location can be verified at that location. The important17

issue is not to make the process more or less difficult for certain groups of individuals with theintent to discriminate.I-9 Form Section by Section AnalysisSECTION 1DO NOT LEAVE ANY REQUIRED SECTIONS BLANK1. Make sure the employee has completed every part of Section 1 by the timeemployment begins. The address must be complete, including apartment number (ifapplicable) and zip code.2. Check the Social Security Number to be sure it appears to be genuine. It should havenine digits and not begin with a 9. Effective November 2007, the employee is notrequired to provide a Social Security Number in Section 1, unless the employer isparticipating in E-Verify. UW-Madison does not participate in E-Verify at this time.3. One of the four attestation boxes must be checked. If the third box is checked, theAlien number must be filled in. If the fourth box is checked, the Admission numbermust be filled in as well as the work authorization expiration date. The I-94 # is thesame as the admission and departure number.4. The employee should sign and date the form. The date should be the initial date ofemployment or earlier.5. The preparer and/or translator certification should only be completed if the employeewas unable to complete Section 1 without assistance from another individual. Simplypointing out blanks that need to be filled in or inconsistent information does notrequire completion of this part.Key points:*The employee should complete and sign Section 1 by the first day of employment.*The employee should check one of the four attestation boxes.*The employee who checks the fourth box should put an expiration date on the Form.*Lawful permanent residents in possession of a Permanent Resident Card, Form I-551,never need to be reverified, even if the I-551 has an expiration date.*The employer should ensure that all parts of Section 1 are properly completed. Fines canbe imposed on the employer if Section 1 is not complete.The employee should complete Section 1 on or before the first day of employment. Every partmust be completed, and one of the four attestation boxes MUST be checked. Theemployee’s signature constitutes a sworn statement, under penalty of perjury, about the truth ofthe declaration made in the attestation box.Previously, there was only one attestation regarding a person being a citizen or national of theUnited States. There now are two separate boxes for the employee to check. According toUSCIS, “noncitizen nationals are persons born in American Samoa, certain former citizens of theformer Trust Territory of the Pacific Islands, and certain children of noncitizen nationals bornabroad.”18

The employer is responsible for reviewing Section 1 and ensuring that the employee has fullyand properly completed it. However, the employee is not required to present any documents tocomplete this section, so the employer cannot request to see the document(s) referenced inSection 1. Only if the employee presents the same document(s) for the completion of Section 2can the employer verify that the information in Section 1 is correct. All employees who checkbox 3 must give an expiration date. This date, or the expiration date of a List A or List Cdocument, whichever is earlier, is the one by which reverification takes place. It is essential toensure that all parts of Section 1 are completed (except maiden name or SSN, as applicable),even if it is not possible to determine the veracity of the statements made.An Alien number is a number assigned to an individual, usually upon granting of permanentresidence, or when a person has encountered serious immigration difficulties. All permanentresidents have an A#. It is an eight or nine digit number preceded by a capital “A.” Theadmission number is an eleven digit number assigned to all non-immigrants who enter the USlegally. It is written on their I-94 arrival/departure record, a document which every nonimmigrantin the US should hold.All new Resident Alien cards, (I-551, Permanent Resident Cards or green cards), have anexpiration date that usually is ten years from the date the card was issued. Although the card willexpire and need to be renewed, the underlying permanent resident status does not expire.Therefore, if the employee checks box 2 as being a permanent resident, and gives an A# but listsan expiration date in Section 1, it is not necessary to reverify the employment eligibility.If the employee is unable to complete Section 1 due to a handicap or English languagedifficulties, the employer, or another individual, may assist the employee. In addition, parents orguardians of children under the age of 18 may vouch for their identity, if they are unable toprovide an acceptable List B document. In each case, the individual who assisted the employeeshould complete and sign the preparer/translator attestation, under penalty of perjury, of Section1.SECTION 2DO NOT LEAVE ANY REQUIRED SECTIONS BLANK1. For either List A or both List B and List C, enter the following:a. Document title, such as passport, I-551, I-94, etc.b. Issuing authority, such as the country that issued the passport or the DHS2. Enter the expiration date of the document(s), if any.3. Enter the employee’s hire date.4. The employer’s signature must be an original, not a stamp.5. Print out the employer’s name, title, and full business address. Do not put the campusaddress only; the street address must include the city, state and zip code. It is a goodidea to type this information on a blank I-9 Form and make photocopies so noinformation is inadvertently omitted when completing the Form.6. The date the employer signs the I-9 should be within three days of the hire date.However, I-9 Forms should never be backdated.19

Key points:*The employer should complete Section 2 within three days of the start date, unlessemployment is for less than three days, in which case, it should be done on the first day.*The employer should examine original, not photocopied or faxed, documents presented bythe employee, make photocopies and attach them to the I-9 Form.*List A documents establish both identify and employment eligibility. List B documentsestablish identity only. List C documents establish work authorization only. The employeeshould present either one document from List A OR one each from List B and List C.*All documents must be unexpired.*The employer may not specify which documents the employee can present; the employeecan choose whatever ones meet the documentary requirements.*The documents should appear to be genuine on their face; relate to the person presentingthe documents; and be from the list of acceptable documents.*Receipts in lieu of original documents are acceptable only under very limitedcircumstances. If a receipt is presented, the original document should be presented to theemployer within 90 days. Receipts are not acceptable if employment is for less than threedays. A receipt for a replacement document providing employment authorization is onlyacceptable if the underlying employment authorization is valid at the time the I-9 Form iscompleted.*If the employee cannot present a document or receipt within the required time frame,employment must be terminated. This must be done consistently for all employees; noexceptions can be made for certain individuals or for certain types of positions.*The employer should fully complete all parts of Section 2, sign and date the form. Therequired information from each document should be entered in Section 2, even thoughphotocopies are attached.*The employer should retain the I-9 Form and attached photocopies for three years fromthe date of hire or one year from the termination of employment, whichever is later.The employer should complete Section 2 within three business days of the date employmentbegins. Employees are required to present original document(s) that establish identity andemployment eligibility. List A documents establish both identity and employment eligibility.List B documents establish identity only. List C documents establish employment eligibilityonly.The employee should present either one document from List A or one each from Lists B and C.The employer may not specify which documents the employee should present; the employee canchoose whatever ones meet the documentary requirements. (See the “Acceptable Documents”section for details and samples of documents which meet I-9 Form requirements.) Even if theexpiration date of the document does not match the expiration date of the employmentauthorization given in Section 1, the employer may not request a different document if the onepresented meets the requirements. If the expiration dates of the documents in Section 1 and 2 aredifferent, the discrepancy should be pointed out to the employee. However, if the employeerefuses to change the expiration date in Section 1, the earlier expiration date should be used forreverification purposes.20

All documents should be photocopied and attached to the I-9 Form. The employer should enterthe required information from each document presented in the appropriate list and on theappropriate line, even though photocopies are attached. Only List A or Lists B and C should becompleted, not all three. List B and C should not be completed in conjunction with List A. Adocument that does not appear on any of the lists may not be accepted. Effective 2 February2009, all documents must be unexpired.The start date of employment should be completed by the employer. The fact that UW-Madisonis a state agency does not relieve us of this requirement. The date the Form is signed by theemployer should be within three days of the start date. However, employers cannot back–date orotherwise falsely make the I-9 Form appear to be in compliance with IRCA.The employer’s signature in Section 2 is a sworn statement. Under penalty of perjury, theemployer is attesting to having reviewed the documents and determined that they appear to begenuine and to relate to the employee, is confirming the date employment began, and is assertingthat the employee is eligible to be employed, to the best of his/her knowledge.If the employee indicated an expiration date for work authorization in Section 1, but presents aphoto ID and an unrestricted Social Security card, the employer must accept the documents andenter them into the appropriate lists. The employer will need to reverify the work authorization,though, (see Section 3) unless the employee checked the “Lawful Permanent Resident” box inSection 1.The employer should examine the original documents presented by the employee and fullycomplete Section 2 of the I-9 Form. The documents should:a. Appear to be genuine on their face;b. Relate to the person presenting them;c. Be from the list of acceptable documents; andd. Be unexpired.Verify Documents are GenuineEmployers are not expected to be experts in evaluating the authenticity of documents, but rathershould be alert to obvious signs of tampering with or forging of documents. Pages missing froma passport, erasures, type overs, and broken lamination over a photograph are some examples oftampering. Although the document should be compared to the samples in the Employer’sHandbook (included in the “Sample Document” section) and the other samples in this manual,there can be several variations of the same document, and a document should not be rejectedsimply because it looks somewhat different than the sample. Only obvious signs of tampering orfraud should lead to rejection of the document.Verify Documents Relate to the EmployeeTo determine if the documents relate to the individual presenting them, the employer shouldcompare the name on the document to that given in Section 1, and determine if any otheridentifying information on the document matches a visual comparison with the individual. If thename does not match but the employee has a reasonable explanation (marriage, divorce, etc.), a21

written explanation, done by the employee, should be attached to the I-9 form. However, if thedocument clearly does not match the individual, the employer should request a new document.Accepting a document that clearly does not match the employee could lead to fines leviedagainst the employer for knowingly accepting a fraudulent document. In addition, any obviousdiscrepancies between the document and the information given in Section 1 should bequestioned. For example, if the person checks the lawful permanent resident box but presents aUS passport, the employer should give the employee the opportunity to correct the discrepancy.The employer should not correct or edit anything in Section 1.Verifying Documents are AcceptableThe documents should be compared to the DHS lists of acceptable documents. Only thosedocuments specifically contained in the lists may be accepted, and the document(s) must beeither from List A or one each from List B and List C. All documents with an expiration datemust be unexpired on the date the I-9 is completed. Documents without an expiration date areconsidered to be unexpired.ProceduresIf satisfied with the document(s) presented by the employee, the employer should:1. Record the title, issuing authority, number and expiration date, if any, of thedocument(s) under the appropriate list;2. Fill in the date of hire and correct information in the certification block; and3. Sign and date the I-9 Form.Although DHS regulations do not require employers to photocopy the documents, UW-Madisonpolicy does require that all documents be photocopied and attached to the I-9 Form. Please notethat photocopying the documents does not relieve the employer of the requirement to write allthe documentary information on the I-9 Form. All sections of the I-9 Form should be fullycompleted, even though copies of the documents are attached. It is not permissible to put “seeattached” in Section 2 of the I-9 form.The date employment began should be entered on the I-9 Form by the employer and it should bethe correct date. Even if the I-9 Form is being completed late, the proper hire date should beentered. The employer’s signature must be an original, not a stamp. All of the informationboxes should be completed. It is permissible to type in the name, title and address informationahead of time and make copies, if the same person in the Department always does the I-9 Forms,but the signature and date sections should be left blank. In fact, it is recommended that thisinformation be typed on the I-9 Form to avoid incomplete address information, for which theemployer could be fined.Special Situations for Individuals with “Duration of Status”F-1 students and J-1 exchange visitors, as well as their F-2 and J-2 dependents, do not have anexpiration date on their I-94 card. Instead, it is marked “D/S” for duration of status. In thesecases, if they present their unexpired foreign passport and I-94, the employer will need to requestthe I-20 or DS-2019 to obtain the expiration date. The I-94 expiration date should be given as“D/S” under List A and the I-20 or DS-2019 expiration date should be written in the margin (seeexample in Sample Document Section). However, if the F-1 or J-1 presents any other acceptable22

combination of documents, such as a driver’s license and unrestricted social security card, theemployer should not request to see any other documents.Receipts in Lieu of Original DocumentsIf the employee is not able to produce acceptable documentation within the first three days ofemployment, a receipt for an application for a document may be presented in lieu of the originaldocument. DHS permits the use of receipts only in these instances:1. A receipt for an application for a replacement of a lost, stolen or damageddocument;2. A temporary I-551 stamp on a form I-94;3. A pre-printed temporary I-551 notation on a Machine Readable Immigrant Visa(MRIV); and4. A refugee admission stamp on a form I-94.If the employment is for less than three days, a receipt is not acceptable.The receipt must be an actual document from the appropriate state or Federal agency showingthat the employee has filed an application for a replacement document. A statement from astudent that his/her parents are looking for the original birth certificate or a letter to the parentsrequesting the original social security card would not be adequate.The employee must present the original document within 90 days, otherwise the employmentmust be terminated. The employment must also be terminated if a receipt cannot be producedwithin three days. This must be done consistently for all employees, not just specific individualsor groups, nor can specific individuals or groups be exempt from termination. Contact theDean’s office with any questions regarding termination procedures. Sample notification lettersin the last section of this manual address this and other situations. In the case of an individualwho presents a temporary I-551 stamp on a Form I-94 or a MRIV (#2 and #3 above), the originalI-551 should be presented by the expiration date of the stamp, or if there is no expiration date,one year from the issue date.If the employee presents a receipt for an application for a document, the word “receipt” shouldbe entered on the “document title” line. The receipt number, if any, should be entered on the“document #” line. The employee must present the original document within 90 days ofbeginning employment, at which time the receipt information should be crossed out and thedocument information entered on the appropriate lines. The changes should be initialed anddated.It is very important to note that the presentation of a receipt for a replacement documentproving employment authorization is acceptable only if the underlying employmentauthorization is valid at the time of hire. The employee must have indicated in Section 1 thathe/she is already eligible to be employed in the US. For example, an employee may present areceipt for a replacement social security card, or a replacement for a currently valid EmploymentAuthorization Document. However, presentation of a receipt for an application for a new grantof employment authorization is not acceptable for I-9 purposes, except as explained below.23

Although not covered in the DHS Handbook for Employers, there are two situations when an I-797 receipt notice can be used for I-9 purposes. (See the “Sample Documents” section forexamples of both a receipt and an approval notice.)1. Employers who have filed with US Citizenship and Immigration Services (USCIS) atimely application for extension of stay with no changes in the terms of employment onbehalf of certain employees may continue to legally employ that individual for a periodof 240 days in the same capacity while the petition is pending. This provision onlyapplies to individuals in H-1B, TN, or O-1 status. It does not apply to individuals in E-3status. The employee will need to be reverified by the original expiration date of thework authorization. The Form I-797 receipt notice is sufficient documentation of thetimely filing of an extension, and can be used as proof of work authorization as a List Cdocument on the I-9 Form. The new expiration date is 240 days from the currentexpiration date. Once the extension has been approved, the employee will need topresent proof of the new work authorization, usually in the form of an I-797 approvalnotice. The department should contact the employee at the end of the 240 day graceperiod for reverification, unless new proof of employment authorization has already beenpresented.2. H-1Bs who have been working for an employer other than UW-Madison may benefitfrom what is called “portability.” Normally, an H-1B temporary worker cannot beginemployment until USCIS has approved UW-Madison’s petition. However, if theindividual already holds H-1B status with another employer, employment at UW-Madison may begin as soon as UW-Madison has received the I-797 receipt notice fromUSCIS. The expiration date is the date UW-Madison petitioned for on the I-129.However, an H-1B who changes from one UW department to another may NOT benefitfrom portability, nor may one for whom an amended petition for changes in the terms andconditions of employment in the same department has been filed.SECTION 3DO NOT LEAVE ANY REQUIRED SECTIONS BLANKNote: At UW-Madison, this section should only be completed for US citizens, non-citizennationals or lawful permanent residents who are being re-hired within the same Department aftera break in service, and whose original I-9 Form was completed in the past three years. A new I-9Form should be completed for anyone who has work authorization with an expiration date, orwho is rehired three or more years after the original I-9 Form was completed. Note: a namechange does not trigger the need to update an I-9 Form.1. Enter the date of rehire.2. The employer’s signature must be an original, not a stamp.3. The date should be within three days of the date of rehire. However, I-9 Formsshould never be backdated.KEY POINTS:*Update when an employee is rehired after a break in service of any duration.24

*Reverify when the employee’s work authorization has an expiration date.*The February 2009 version of the I-9 Form must be used for reverification.*Complete an entirely new I-9 Form when an employee is rehired more than three yearsafter completion of the original I-9 Form. The February 2009 version must be used.Updating and ReverificationThere are two instances when the I-9 Form must be updated or reverified:1. Each time an employee is rehired after a break in service of any period (except forapproved leaves of absence, as described in the section on when an I-9 Form mustbe completed), the I-9 Form must be updated to be sure that the employee is stillauthorized to be employed within the Department. If the employee is rehired by adifferent Department, a new I-9 Form should be completed since each Departmentis considered to be a separate employer.2. Whenever the employee indicates an expiration date for work authorization inSection 1, or the List A or List C employment eligibility document has anexpiration date, reverification must take place to ensure that a new grant of workauthorization has been obtained. In both instances, reverification of identity is notnecessary, only reverification of employment eligibility is necessary.Anyone who is rehired more than three years after the completion date of the original I-9Form must complete an entirely new form, verifying both identity and employmenteligibility. The February 2009 version must be used.US citizens and permanent residents who hold a Resident Alien Card, Form I-551, never need tobe reverified, even though the I-551 has an expiration date, since their employment authorizationdoes not expire. Their I-9 Form may need to be updated if they are rehired within three years ofcompleting the original I-9 Form, or a new one will need to be completed if they are rehiredmore than three years after completing the prior form. The only exception to this rule is when apermanent resident was verified after being granted permanent residence but before actuallyreceiving the I-551. See the “Receipts” section above.A new I-9 Form should be completed whenever a former employee is rehired after any break inservice either if there is no I-9 Form or if the prior I-9 Form was completed more than threeyears prior to the rehire.Whenever an employee changes from one Department to another, a new I-9 Form should becompleted, because the hiring Department is considered to be the employer.Updating: When an Employee is RehiredUpdating must be completed on the February 2009 version of the I-9 Form. If an earlierversion for the I-9 Form was used for the initial verification, the updating must be completed ona new form. The new I-9 Form should be attached to the original one.The employer should update the I-9 Form when the employee:25

*checked Box 1 or 2 in Section 1 and*has a break in service and*is rehired within three years of the date the original I-9 Form was completed.To update, the employer should:*record the date of rehire on the original I-9 Form in Section 3;*sign and date Section 3 within three days of the rehire; and*refile the I-9 Form accordingly.If Section 3 has already been used, the employee’s name and Social Security number should beentered in Section 1 of a February 2009 version of the I-9 Form, the above process should becompleted on the new form, and it should be attached to the old one.The full verification process must be followed for those employees who are rehired after abreak in service and whose original I-9 Form was completed more than three years beforethe date of rehire.Reverification: When Work Authorization has an Expiration DateKey Points:*All employees whose work authorization has an expiration date should be reverified.*The employer should notify the employee at least 120 days prior to the expiration date ofthe need to reverify.*The employer should accept any document(s) which the employee presents that meet theverification requirements, and the employer cannot request any specific documents.*If the employee cannot produce valid proof of employment eligibility by the expirationdate of the original work authorization, the employment must be terminated.Reverification ProceduresWhen the work authorization is going to expire and the person is continuing employment in thesame Department, the employer should do the following:1. Notify the employee in writing 120 days prior to the expiration date that the workauthorization will expire on the specific date, and that reverification ofemployment eligibility will need to be done on or before that date. (See “SampleLetter” section);2. Provide the employee with a new I-9 Form to complete Section 1;3. Examine the original documents presented and complete Section 2, listingdocuments in either List A or C (but not B) on or before the expiration date of theoriginal grant of work authorization; and4. Make copies of the document and attach everything to the original I-9 Form andrefile accordingly.The employer must accept any document(s) which the employee presents that meet theverification requirements, and cannot request any specific document. However, if the employeepresents a Social Security card with the notation “valid for employment only with DHSauthorization,” the employee must present proof of the DHS authorization.26

The employee may use a different employment authorization document for reverification thanthe one presented for the original I-9 Form. If the document meets the documentaryrequirements, the employer cannot request one similar to the original one. If the employeepresents an unrestricted Social Security card, no further reverification is necessary. To do socould subject the employer to anti-discrimination sanctions.Employers can get caught between potential employer sanctions and anti-discriminationviolations during the reverification process. For example, if the employee originally presentedan I-797 Form approval of an H-1B application filed by UW-Madison but has not done anythingthrough the Department to extend the validity of the H-1B, the employing Department maysuspect that the employee is out of status. This is known as “constructive knowledge.” If DHSdetermines that the employee was not authorized to be employed, it could fine the University forknowingly continuing to employ an unauthorized individual. However, at the time ofreverification, if the employee presents an unrestricted Social Security card, the employer maynot request additional documentation. The employee may have obtained lawful permanentresidence through some means other than UW-Madison sponsorship and, therefore, be a“protected individual” for anti-discrimination purposes. Because constructive knowledge can bedifficult to prove, employers are better off not requesting additional documentation if thedocument presented meets the I-9 reverification requirements.If new employment authorization has not been granted by DHS, the employment must beterminated. A leave of absence is not appropriate, as DHS considers an approved leave ofabsence to be continuing employment. Employees should be notified to initiate the process ofapplying for an extension of stay or new employment authorization at least 120 days prior to theexpiration date of the original authorization. It is the employing Department’s responsibility toreverify employment eligibility by the expiration date of the original work authorization. TheDepartment should establish a tickler system to alert employees 120 days in advance of the needto file an extension.Provided a timely extension of stay with no changes in the conditions of employment is filed bythe Department with DHS, certain employees may continue working for up to 240 days after theexpiration date of the original approval notice. See the ”Receipt” section for details.In most instances, employees who indicate they are permanent residents do not need to bereverified. However, there is one exception. If the employee has been approved for permanentresidence at the time of completing the I-9 Form but has not yet received the Resident Alien card(I-551), there will be a stamp either in the passport, on an I-94 card, or noted in an MRIV whichreads “processed for I-551, temporary evidence of lawful admission for permanent residence,valid until (date), employment authorized.” DHS considers this admission to be temporary andthe employer must reverify that the individual has been granted permanent residence, i.e., hasreceived the I-551, by the date on the passport or the I-94.The employer should always reverify employment eligibility when the employee checked Box 3in Section 1 and has work authorization with an expiration date and/or presents a workauthorization document for Section 2 that has an expiration date. The vast majority ofindividuals who are not US citizens, non-citizen nationals or permanent residents will have work27

authorization that has an expiration date. The expiration date will appear on the I-94, I-797, I-20or DS-2019 (see sample documents for examples). Reverification must take place on or beforethe original expiration date.Although DHS permits reverification in certain instances to be noted in Section 3 of the originalI-9 Form, UW-Madison requires that a new I-9 Form be completed for reverification of allemployees who checked Box 4 in Section 1 of the original I-9 Form and/or who presented adocument with an expiration date for Section 2. However, identity documents do not need to be,and should not be, presented again, since the employee’s identity was already verified.When an Employee Who Checked Box Four is Rehired after a Break in ServiceWhenever an employee who checked Box 4 on the original I-9 Form is being rehired after abreak in service, a new I-9 Form must be completed. The above procedure, omitting Step 1, canbe followed for those who are rehired within three years of completing the original I-9 Form.Updating of TA/PA and C basis appointments.According to DHS regulations, updating is not required if the individual is employed on “acontinuing basis and has a reasonable expectation of employment at all times.” Therefore,updating is not required for TA/PA appointments if the appointment is in the same Departmentand there is no break in service; that is, if the appointment was renewed prior to its terminationand the employee resumed work in the immediately following semester.Similarly, “C” basis employees do not need to be updated if the appointment is in the sameDepartment and the person is on the payroll on the last day of the spring semester and startsagain on the first day of the fall semester of the same year.If the employee does not resume work in the immediately following semester, the I-9 Formshould be updated upon being rehired, provided the original I-9 Form was completed withinthree years of the rehire. If the original I-9 Form was done more than three years earlier, a newI-9 Form must be prepared.When the employee checks the box indicating being either a US citizen, non-citizen national orpermanent resident, updating can be done with the original I-9 Form in Section 3 (provided thesection has not been used already, in which case, a new I-9 Form would be necessary.) If thefourth box was checked and/or a document with an expiration date was presented for Section 2, anew I-9 Form would be needed to reverify employment eligibility.Acceptable DocumentsKey Points:*All documents presented must be originals, not photocopies.*Employees should present either one document from List A or one each from Lists B & C.*Documents not on the lists will not be accepted.*All documents must be unexpired.The following pages contain the official lists of documents that are acceptable for verification ofidentity and employment eligibility. This section gives the official DHS Lists A, B, and C. In28

the Appendix are sample documents from DHS, as well as copies of the documents mostcommonly presented by non-immigrants who have been granted employment authorization byDHS. There are many different versions of some documents, so this should not be considered tobe an exhaustive set of sample documents. A document should not be rejected simply because itis not exactly like the sample. Documents should only be rejected for obvious signs oftampering, such as erasures, typeovers, or fraud.Expired documentsEffective 2 February 2009, no documents may be expired. Previously, certain List A and Bdocuments could be expired; that is no longer the case.Unexpired foreign passport with attached I-94 showing employment authorizationList A includes an unexpired foreign passport with attached DHS Form I-94 indicating theindividual holds a status that permits employment for a specific employer incident to status. Themost common such statuses seen at UW-Madison are F-1, J-1, E-3, H-1B, O-1, and TN. Inmany cases, another document such as the I-20, I-797 or DS-2019 must be presented in additionto the I-94. These documents can be considered as List C documents and should beaccompanied by a List B document to verify identity, since the foreign passport is not a List Bdocument. Otherwise, the information from the document can be entered in the margin next toList A, where the information about the unexpired foreign passport and I-94 has been entered.Social Security CardsSocial Security cards may not be laminated, if it is stated on the back that the card may not belaminated, and are not acceptable I-9 documents, if laminated. All valid Social Security numbershave nine digits. A number that begins with a “9” is not a valid Social Security number.A Social Security card marked “not for valid employment” cannot be used as a List C document.Some cards are marked “valid for work authorization only with DHS authorization.” This typeof Social Security card may be accepted only if it is presented along with an unexpired DHSdocument showing work authorization, such as an I-797 Approval Notice on which UW-Madison is listed as the petitioner/employer. This is the only situation in which an employermay require the employee to present a DHS issued work authorization document. Bothdocuments would be entered under List C. Additional lines can be added to enter the DHSdocument’s information.All documents must be originals, not photocopies. The only exception to this is a certified copyof a birth certificate.Immigration terminologyIn order to be able to complete the I-9 Form correctly, it is helpful to have a basic understandingof certain terminology and documents, as well as the various immigration statuses that are mostcommonly seen at UW-Madison.The terms “visa” and “immigration status” are often used interchangeably, but they actually havevery different meanings. A visa is a stamp that is placed in a person’s passport at a USConsulate outside the US. The Department of State is responsible for issuing visas. The visa is a29

permit to apply for entry into the US during a particular period of time. All visas are machinereadable documents that are laminated in the passport and give the date of issuance, status,number of entries and period of validity, as well as personal identification information about thepassport holder.Immigration status is conferred by a DHS inspector at the port of entry into the US and isrecorded on the I-94 card which is stapled into the passport. The status of an individual governspermissible activities and duration of legal stay. An individual must maintain a legal status at alltimes while in the US. The person can change from one non-immigrant status to another, eventhough the visa in the passport might still be valid and lists another status. A new visa from a USConsulate would be necessary if the person were to leave the US and wish to re-enter in the newstatus.An individual’s immigration status is what determines employment eligibility, not the visa. Avisa can expire the same day the person enters the US, as it is only an entry permit, like a ticketto a movie theater. The visa is not to be used for I-9 purposes.The “alien number, or A#” and the “I-94 arrival/departure number (or admission number)”are also frequently confused. The Alien number is a number assigned by DHS to an individual,usually upon granting of permanent residence, or when a person has encountered seriousimmigration difficulties. All permanent residents have an “A” number. It is an eight or ninedigit number preceded by a capital “A” and appears on Form I-551 of permanent residents.The I-94 arrival/departure number or admission number is assigned to all non-immigrants whoenter the US legally. It appears in the upper left hand corner of the I-94 card, which all nonimmigrantsshould hold, and always consists of eleven digits. See the “Sample Documents”section for examples of a visa and DHS documents.Official DHS Lists of Acceptable DocumentsList A Documents that Establish Both Identity and Employment Eligibility1. US Passport or US Passport Card2. Alien Registration Receipt Card or Permanent Resident Card (Form I-551)3. Foreign passport that contains a temporary I-551 stamp or temporary I-551 printednotation on a mach8ine-readable immigrant visa4. Employment Authorization Document issued by DHS which contains a photograph,Form I-7665. In the case of a nonimmigrant alien authorized to work for a specific employerincident to status, a foreign passport with a Form I-94 or Form I-94A, and containingan endorsement of the alien’s nonimmigrant status, as long as the period ofendorsement has not yet expired and the proposed employment is not in conflict withany restrictions or limitations identified on the form.6. Passports from the Federated States of Micronesia (FSM) or the Republic of theMarshall Islands (RMI) with form I-94 or Form I-94A indicating nonimmigrantadmission under the Compact of Free Association Between the United States and theFSM or RMI.30

List B Documents that Establish Identity1. Driver’s license or ID card issued by a state or outlying territory of the US, providedit contains a photograph or information such as name, date of birth, gender, height,eye color and address2. ID card issued by federal, state, or local government agencies or entities, provided itcontains a photograph or information such as name, date of birth, gender, height, eyecolor and address3. School ID with photograph4. Voter registration card5. US military card or draft record6. Military dependent’s ID card7. US Coast Guard Merchant Mariner Card8. Native American tribal document9. Driver’s license issued by a Canadian government authorityFor persons under age 18 who are unable to present a document listed above:10. School record or report card11. Clinic, doctor or hospital record12. Day care or nursery school recordList C Documents that Establish Employment Eligibility1. US Social Security Account Number card other than one that specifies on the facethat the issuance of the card does not authorize employment in the United States.2. Certification of Birth Abroad issued by the Department of State (Form FS-545)3. Certification of Report of Birth issued by the Department of State (Form DS-1350).4. Original or certified copy of a birth certificate issued by a state, county, municipalauthority or outlying territory of the US bearing an official seal5. Native American tribal document6. US Citizen ID card (Form I-197)7. ID Card for use of Resident Citizen in the US (Form I-179)8. Employment authorization document issued by DHS (other than those listed underList A)Most Common Immigration Statuses at UW-Madison and DHS Documents WhichDemonstrate that StatusNote: For more detailed information on immigration status, types of payments that can be madeand tax issues, see the handbook “Payments to Foreign Nationals” on the web athttp://www.bussvc.wisc.edu/acct/tax/foreign/acimmtax.htmlThere are samples of the DHS documents described in this section, accompanied by a properlycompleted I-9 Form, in the Sample Documents and Properly Completed I-9 sections.Immigrants31

The term immigrant, permanent resident and “green card” holder all mean the same thing; theperson may stay in the US permanently. They enjoy many of the rights and privileges of UScitizens and are eligible to work anywhere, with a few exceptions, such as in certain governmentpositions. Permanent residents may remain in the US for an indefinite period of time with noneed to extend their stay.I-551 Permanent Resident CardThe I-551 is proof that a person has been granted “lawful permanent residence” by theDHS. It is known as the Resident Alien Card, the Permanent Resident Card or the “greencard.” The current version is no longer green, but the name has stuck. There have beenmany different versions of the I-551 over the years, so perfectly valid green cards maynot look exactly like the sample. The old green card, the I-151, is no longer a validdocument for I-9 purposes.Newly admitted permanent residents do not get their I-551 Form immediately. Instead,they are given a “processed for I-551” stamp in their passports, on an I-94 card, or on anMRIV which indicates that their permanent resident petition has been approved, and theymay be employed like any other permanent residents. The stamp, though, is temporaryand permanent residents who present a stamp must be reverified by the expiration date onthe stamp.DHS is now issuing the I-551 for a period of ten years. However, the underlyingpermanent residence does not expire, so a person who presents a valid I-551 Form doesnot need to be reverified when the card expires. An expired I-551 Form is not acceptablefor initial verification, though.Non-immigrantsNon-immigrants are individuals who enter the US with a visa that permits them to remain onlytemporarily in the country, such as B-2 tourists, F-1 students, J-1 exchange visitors or H-1Btemporary workers. All non-immigrants who have been properly admitted to the US by a DHSofficer will have an I-94 card.I-94 Arrival/Departure CardThe I-94 arrival/departure card is a small card (usually white, except for those who enteron a visa waiver, in which case it is green) given by DHS to all non-immigrants whoenter the US. DHS keeps the arrival portion and gives the departure portion to the nonimmigrant.The card is a record of the person’s status, and indicates where and on whatdate the person entered, and until what date the stay has been authorized by DHS. The“departure number” in the upper left corner of the card is known as the I-94 number orthe admission number. This number is not the same as the “alien number,” which isdescribed in the I-9 Form Section by Section Analysis, Section 1. It may have an actualexpiration date, or in the case of F-1s and J-1s, it will be marked “D/S” for duration ofstatus. An I-94 is also incorporated into the bottom of the I-797 Notice of Approval (seebelow) given to certain non-immigrants who are granted an extension of stay or changeof status by DHS.32

An I-94 is also given to refugees admitted to the US to escape persecution in their homecountry. It is a record of their status during their first year here, after which they canapply for permanent residence. Previously, a refugee’s I-94 granted them immediateemployment authorization, but now they must obtain an employment authorizationdocument (EAD) before they may work.J-1 Exchange VisitorsThe Exchange Visitor program is for the purpose of educational exchange. There are severalcategories of exchange visitor, but the ones most frequently seen at UW-Madison are professor,researcher and short term scholar, as well as students, as described below. J-1s may only work atthe institution that issued the DS-2019, also known as the program sponsor, or at anotherinstitution if they have been given written authorization by the Exchange Visitor Programsponsor. The work must be in the field listed in Section 4 on the DS-2019. Most J-1s at UW-Madison will have a DS-2019 issued by UW-Madison. If the DS-2019 is issued by anothersponsor, the J-1 must have authorization to work here, either written on the DS-2019 or onletterhead from the sponsor.DS-2019The DS-2019 is issued by the Exchange Visitor Program sponsor authorized by theDepartment of State to bring individuals to the US as Exchange Visitors. The programsponsor is listed in Section 2 of the form. At the port of entry, the DHS officer endorsesthe DS-2019 and returns it to the Exchange Visitor, which is the person’s proof of validJ-1 status, along with the I-94. The DS-2019 is valid through the end date given inSection 3 of the form. In order for the person to be paid, UW-Madison must be listed asthe source of support in Section 5, or the exchange visitor must have a letter from theprogram sponsor authorizing work at UW-Madison.J-2 DependentsJ-2 dependents, such as the spouse or child of the J-1 Exchange Visitor, may be employed in theUS if they are granted employment authorization by DHS. They may be employed in anycapacity for which they are qualified. If the position they will occupy requires a license, theymust hold the appropriate license. J-2s must obtain an EAD before accepting any employment.(See description of the EAD below.)F-1 and J-1 StudentsStudents who are enrolled in a full time course of study at UW-Madison are generally in eitherF-1 or J-1 status. These students may work up to 20 hours a week on campus (full time duringvacation times), including any combination of graduate assistantships, (TA and PA) and studenthourly work. Teaching, research, project and program assistantships are considered to be part ofthe academic program and are usually listed on the student’s I-20 (F-1) or DS-2019 (J-1) as asource of financial support. This type of employment does not require any additionalauthorization from the office of International Student Services (ISS). F-1 students may engagein student hourly work without any special authorization, whereas J-1 students must have thewritten authorization of the Exchange Visitor Program sponsor. Students are also eligible forwork that is relevant to their degree program, called practical training (F-1) or academic training33

(J-1). F-1 students must have an employment authorization document (EAD, see descriptionbelow) issued by DHS prior to beginning their practical training. J-1s must have a letter ofauthorization from their Exchange Visitor Program sponsor before working. For both F-1 and J-1 students, the training must be in the field of study listed on the I-20 or DS-2019, or in a closelyrelated field.I-20An I-20 is issued by schools and universities to allow students to enter the US to study atthat particular institution. The form gives details about the school, the student and theprogram of study. The expiration date appears in Section 5 of the form. Specialnotations, including recommendations for practical training, appear on the back.H-1B Temporary WorkerThe H-1B is strictly a working status, with no underlying educational component like the J-1.The H-1B is for professional level positions which require at least a Bachelor’s degree in aspecific field, and the individual must hold that degree. H-1B employment is employer specific.The employer files the petition with DHS, not the employee. At UW-Madison, each Departmentis considered to be a separate employer. The employee’s I-94 and the I-797 listing UW-Madisonas the employer are evidence of employment eligibility.I-797 FormThis form has two main purposes; it can be issued as a receipt for a petition filed withDHS, and it also can be used as a notice of approval of a petition, such as an extension ofstay or a change of non-immigrant status. The I-797 Form can be used in conjunctionwith the I-94 to verify a non-immigrant’s employment eligibility. It is important todistinguish between a receipt notice and an approval notice, which is indicated in theupper right section of the form. A receipt notice cannot be used for I-9 purposes, unlessit is used as documentation of a timely filed application for extension of stay with nochanges from the previous petition or for H-1B portability (see “Receipt” section fordetails). An approval notice can be used for I-9 purposes as a List C document, or as aList A document along with an unexpired foreign passport with attached I-94. Forindividuals in H-1B status, UW-Madison must be listed in the upper right corner of the I-797 Form, and the employing Department must have been the petitioner. The specificDepartment name is not listed on the I-797.E-3 for AustraliansThe E-3 is a new visa category for Australian nationals who will perform services in the US in aspecialty occupation. The definition of a specialty occupation is the same as for H-1Bs: “anoccupation that requires (A) theoretical and practical application of a body of highly specializedknowledge, and (B) attainment of a bachelor’s or higher degree in the specific specialty (or itsequivalent) as a minimum for entry into the occupation in the United StatesThe I-94 is documentation of the E-3’s status upon initial entry. E-3s who have receivedan extension of stay while within the US will have an I-797 approval notice to documentthe extension of stay. (See descriptions of I-94 and I-797 above)34

TN Trade NAFTAThe North American Free Trade Agreement (NAFTA) created a non-immigrant category forCanadian and Mexican professionals to enter the US and work. Like the H-1B, it is forprofessional positions, and the TN approval is employer specific. The TN should have enteredthe US based on a UW-Madison job offer, and UW-Madison should be noted on the TN’s I-94card. The I-94 is evidence of employment eligibility. TNs are admitted for a period of up tothree years, and they can extend their stay for an indefinite period of time, either by leaving theUS and re-entering with a new I-94 or by filing a petition with DHS to obtain an I-797.(See description of I-94 and I-797 above).EADThe employment authorization document, Form I-766 or EAD, is a laminated card with aphotograph of the card holder which permits the person to be employed in the US. It is a validList A document, provided the expiration date on the front has not passed. The EAD is issued toa wide range of individuals, including but not limited to, J-2 dependents, F-1 students onOptional Practical Training, and applicants for permanent residence who have reached a certainpoint in the process. Except where noted elsewhere in this manual, the EAD permits anyemployment for which the individual is qualified. EADs are issued for a limited period of timeand are only valid through the expiration date on the card.B-1/B-2 (WB/WT)B-1 visitors for business (or WB for those who enter on a visa waiver) and B-2 visitors fortourism (or WT for those who enter on a visa waiver) are not eligible to be employed under anycircumstances in the US. B-1/WBs may be reimbursed for travel and living expenses, and undercertain circumstances, they may receive an honorarium. See the IFSS web site under B Visitors:http://www.ohr.wisc.edu/ifss/imminfo/index.htm. The I-94 is the only documentation of theirstatus. A copy of the I-94 should be attached to any request for expense reimbursement orhonorarium payment for B-1s. An I-9 should never be completed for a person in B-1 or B-2status.RefugeesRefugees are admitted to the US for a one year period with just an I-94 card. At the end of theyear, they can apply for an I-551, Permanent Resident Card. The stamp in the upper right part ofthe I-94 indicates the section of the Immigration and Nationality Act under which they wereadmitted. Once they obtain an EAD, they may be employed in any position for which they arequalified.(See description of I-94 and EAD above).35

Quick Reference Guide for Certain Non-immigrants with Work AuthorizationThe following is a list of documents that a non-immigrant may present for completion of the I-9Form. Keep in mind that the employer may not, under any circumstances, request specificdocuments. The employee is free to present any document or combination of documents thatmeet the I-9 requirements. This list is designed to help you recognize the documents that mostcommonly are presented by individuals in a particular immigration status. There is a sample ofall of the listed documents in the “Sample Documents” Section, as well as sample completed I-9Forms for many of the non-immigrant statuses.New employee’s status:Type of employment:Documentation:New employee’s status:Type of employment:Documentation:New employee’s status:Type of employment:Documentation:New employee’s status:Type of employment:Documentation:New employee’s status:Type of employment:Documentation:UW-Madison F-1 studentPart time on campus employment (May be full time during breaks)List A*Unexpired foreign passport*I-20 issued by UW-Madison*I-94 showing F-1 status for D/SF-1 student at UW-Madison or another schoolPart time or full time employment for optional practical training(OPT)List A*EAD, I-766 Form, issued by DHSF-1 student at UW-Madison or another schoolPart time or full time employment for curricular practical training(CPT)List A*Unexpired foreign passport*I-20 issued by the student’s school with CPT authorizationwritten on the back by the school’s foreign student advisor*I-94 showing F-1 status for D/SF-1 student at another schoolPart time employment for economic hardshipList A*EAD form I-766 issued by DHSJ-1 student at UW-MadisonPart time on campus employment (may be full time during breaks)List A*Unexpired foreign passport*Copy of DS-2019 issued by UW-Madison or another sponsor*I-94 showing J-1 status for D/S36

*Written authorization from the sponsor for employment at UW-MadisonNew employee’s status:Type of employment:Documentation:J-1 student at another schoolPart time employment for unforeseen financial needList A*Unexpired foreign passport*Copy of DS-2019*I-94 showing J-1 status for D/S*Written Authorization from the sponsor for employment at UW-MadisonNew employee’s status:Type of employment:Documentation:New employee’s status:Type of employment:Documentation:J-1 student at UW-Madison or another school, recent graduateJ-1 Academic TrainingList A*Unexpired foreign passport*Copy of DS-2019*I-94 showing J-1 status for D/S*Written Authorization from the sponsor for employment at UW-MadisonJ-1 Professor, Research Scholar or Short Term ScholarTeaching or research at UW-Madison, in department indicatedList A*Unexpired foreign passport*Copy of DS-2019 issued by or naming UW-Madison*I-94 showing J-1 status for D/SNew employee’s status: J-2 dependent of J-1Type of employment: Full or part time in any capacityDocumentation:List A*EAD form I-766 issued by DHSNew employee’s status:Type of employment:Documentation:H-1B or O-1 for whom UW-Madison petitionedMust correspond to UW-Madison’s petition approved by DHSList A*Unexpired foreign passport*I-94 showing H-1B or O-1 status and future expiration date*I-797 Approval Notice showing UW-Madison as petitionerLists B and C*any List B document; and*unexpired I-797 Approval Notice of H-1B or O-1 status issued toUW-Madison37

New employee’s status:Type of employment:Documentation:TN from Canada or MexicoMust correspond to UW-Madison’s offer letterList A*Unexpired Canadian or Mexican passport*I-94 showing TN status and UW-Madison as employerLists B and C*Canadian drivers license, UW photo ID, or other List Bdocument; and*unexpired I-94 card showing UW-Madison as employer38

Suggestions for How to Complete the I-9 Form for Certain Non-ImmigrantsF-1 Students and J-1 Exchange Visitors1. Write the required information from the passport in the first document section on List A.2. Write the required information from the I-94 Form in the second document section onList A. The I-94 should say the person was admitted until “D/S” meaning duration ofstatus. Put “D/S” on the line for the date. Since an expiration date must be included, youwill need to see the F-1’s I-20 or the J-1’s DS-2019. The expiration date of the I-20 is inSection 5 and the DS-2019 is in Section 3. Write the date in the margin next to List A.See sample completed I-9 labeled “J-1 Scholar with D/S.”3. Check to be sure the expiration date and the I-94 number are the same as what theemployee wrote in Section 1.J-2 Dependents of Exchange Visitors1. Write the required information from Employment Authorization Document,DHS, I-766 Form in the first document section on List A. See sample “Non-immigrantwith EAD.”TN Trade NAFTA1. If the employee presented a Canadian or Mexican passport with attached I-94, write therequired passport information in the first document section on List A.2. Write the required information from the I-94 in the second document section on List A.UW-Madison should be written on the back of the I-94 as the employer, so both sides ofthe I-94 should be photocopied or3. If the employee presented a photo ID that is a valid List B document, enter the requiredinformation in List B.4. The I-94 is a valid List C #7 document, so the required information should be written onList C. Photocopy both sides. See sample “TN.”H-1B Temporary Workers and O-1 Aliens of Extraordinary Ability1. If the employee presented a passport with attached I-94, write the required passportinformation in the first document section on List A.2. Write the required information from the I-94 in the second document section on List A.See sample “H-1B with I-797/I-94.”3. Since the I-94 usually does not list UW-Madison as the employer, a copy of the DHS I-797 Approval Notice should also be attached. Write the RECEIPT number (upper leftcorner) in the margin next to List A or4. If the employee presented a photo ID that is a valid List B document, enter the requiredinformation in List B.5. The I-797 Approval Notice is a valid List C #8 document, so the required informationshould be written on List C.39

OVERVIEWDOA. Complete an I-9 Form for all employees hired after 6 November 1986B. Have the employee complete Section 1 by the first day of employmentC. Complete the entire I-9 Form within 3 business days of the start date, or on thefirst day of employment, if it is for less than 3 daysD. Ensure that the employee has completed all of Section 1, even the zip codeE. Allow the employee to decide which document(s) to presentF. Only question documents which do not appear on their face to be genuine, do notappear to relate to the employee, or are not on the DHS listsG. Personally examine the original document(s), not photocopies or faxesH. Enter each document’s title, issuing authority, number and expiration date inSection 2I. Enter the hire date in Section 2J. Sign and date the I-9 Form with the current date, even if it is more than three daysafter the hire dateK. Follow up within 90 days when an employee presents a receipt instead of thedocument; enter document information in Section 2 and date with the current dateL. Establish tickler system for those employees whose work authorization will expireM. Notify employees whose work authorization will expire 120 days ahead of theneed to reverifyN. Complete the reverification before the original work authorization expiresO. Retain I-9 Forms for three years after the hire date or one year after termination,whichever is later, then shredP. Review existing I-9 Forms and correct mistakes, but date the corrections with thecurrent dateDO NOTA. Refuse to hire anyone who is not a US citizen or permanent residentB. Request specific documents, especially if the person looks or sounds “foreign”C. Accept faxed or mailed photocopies; original documents must be presented inpersonD. Request more documentation than the Form requiresE. Request specific documents for reverification if the employee presents anunrestricted Social Security cardF. Overdocument; such as filling in a document in all three listsG. Accept the old green card, the I-151 FormH. Backdate the I-9 Form to make it appear that the Form was completed correctlythe first timeI. Accept a receipt for an application for a new grant of work authorization and givethe employee 90 days to present the new documentJ. Continue to employ an individual whose work authorization has expired and whohas not presented new proof of employment eligibilityK. Discard I-9 Forms for current employeesL. Accept any expired documents40

Checking and Correcting Existing I-9 FormsThe employer should review existing I-9 Forms periodically for completeness and correct them,if possible. However, any corrections should never be backdated. It might be helpful to attach anexplanation of why the corrections were made, in case the I-9 Forms are audited. The followingare things to look for when reviewing the old I-9 Forms:1. Make sure all sections are completely filled in. Section 1 is the employee’s swornstatement regarding the information provided, so the employer cannot change or correctSection 1; the employee must do so. If the employee has already terminatedemployment, it may not be possible to correct Section 1 or get missing documents.2. Be sure the document information in Section 2 is complete, including the completedepartment street address. Fill in any missing information from the attached photocopies.If copies are not attached, the employer should request them from the employee. As withcompleting or correcting Section 1, if the employee is no longer employed by thedepartment, it may not be possible to obtain copies of the documents that were used forSection 2.3. Check for the hire date, which is very easy to miss. Fill it in based on the offer letter orother official evidence of the start date, such as the entry in payroll records.4. Make sure Section 1 and 2 are consistent, i.e. if the employee checked the US citizen box,be sure the document presented for Section 2 was not a permanent resident card, form I-551.5. If the employee’s work authorization has expired, the employer must contact theemployee to present new proof of employment eligibility. Employment must beterminated if the employee cannot provide any document proving employment eligibility6. If the employer finds an I-9 Form for positions that do not require verification such asResearch Assistants or Honorary Fellows, the forms should be shredded. The employercould be fined if there are errors or omissions on the forms, even though they were notrequired to be completed.7. Discard any I-9 Forms that are no longer required. Keep in mind that they must be keptonly for 3 years from the hire date, or 1 year after termination, whichever is later. Theremay be several that can be shredded.There are sample letters in the Appendix that address some of these situations.41

APPENDIXA. Sample LettersB. Sample DocumentsC. Properly Completed I-9 Forms with Sample Documents42

SAMPLE LETTER AOn department letterheadLetter to employee whose I-9 Form is missing, incomplete, or contains errorsURGENTDateDear ____:Recently, we reviewed our employment verification records as required by the Office ofHuman Resources and [Choose the option which fits this person’s case]Option 1Option 2Option 3were unable to locate the required I-9 Form for you.found that Section 1 on the I-9 Form you filled out is incomplete.found errors in the completion of the required I-9 Form.In order for the University of Wisconsin – Madison to comply with the ImmigrationReform and Control Act of 1986, we need to correct this situation. The Act prohibits theUniversity from continuing to employ an individual who has not provided the requireddocuments within the relevant time period. The University requires this situation be resolvedwithin (7) working days of the date of this letter. Unfortunately, this means that if this is notresolved by (fill in the date), we must place you on a Leave of Absence Without Pay until youprovide us with the necessary information.[At this point, anything you can write to personalize or soften this sensitive issue shouldbe used in closing. For example: “We value your work in the department and would be sorry tolose you for even a short time.”] Please contact (contact person) immediately to discuss what isneeded.Sincerely,Enclosures (Options #1 and #3 only)I-9 Form and instructionsChair/Director43

SAMPLE LETTER BOn department letterheadLetter to employee whose I-9 Form expiration date has passed andevidence of continuing work authorization has not been presented, afterdepartment has requested it.URGENTDateDear ____:Recently, we reviewed our employment verification records as required by the Office ofHuman Resources and found that your work authorization expired on (date). On (date), youwere asked to present evidence of extended or continuing work authorization. Because evidencehas not been presented, you need to meet with me on (date of scheduled meeting) to discuss thismatter.The Immigration Reform and Control Act of 1986, 8 U.S.C. § 1324a, prohibits theUniversity of Wisconsin – Madison from continuing to employ anyone who does not providedocumentation of extended or continuing employment authorization. Unfortunately, if you areunable to provide evidence of work authorization at this meeting, we will be required toterminate your employment immediately.Please bring evidence of your extended or continuing employment eligibility, if in factyou have work authorization. If your work authorization was obtained through an employerbasedUniversity application, such as the H-1B, you should contact our DepartmentAdministrator (name) to discuss submission of an application for extension of stay. Failure toapply for an extension of stay in a timely manner may have serious consequences for continuingemployment and for obtaining an extension or reissuance of a visa.[At this point, anything you can write to personalize or soften this sensitive issue shouldbe used in closing. For example: “We value your work in the department and would be sorry tolose you for even a short time.”]Sincerely,Chair/Director44

SAMPLE TERMINATION LETTEROn department letterheadTermination letter to employee whose I-9 Form expiration date has passed and evidenceof continuing work authorization has not been presented, after department has requestedit both verbally and in writing.DateURGENTDear ____:In my letter of (date) and my meeting with you on (date), I informed you that your I-9work authorization expired on (expiration date), and that you needed to present evidence ofextended or continuing work authorization in order to continue your employment with theUniversity of Wisconsin – Madison.Because the necessary evidence of extended or continuing work authorization has notbeen presented, I regret that we cannot continue to employ you. As required by the ImmigrationReform and Control Act of 1986, your appointment is hereby terminated, effective (date).You should contact (contact) right away to learn about appeals procedures.Sincerely,Chair/Director45

SAMPLE LETTER 120 Day Reverification NoticeOn department letterheadLetter to employee whose I-9 Form will expire in 120 days.NOTICEDateDear ____:We routinely review our I-9 files to insure they are accurate and up to date. A recentreview revealed that your work authorization will expire on (expiration date). The ImmigrationReform and Control Act of 1986, 8 U.S.C. § 1324a, requires employers to reverify the workauthorization of all employees whose work authorization expires. Therefore, in order to updateyour I-9 Form, you will need to present evidence to (contact) of your extended or continuingwork authorization on or before (expiration date).If your work authorization was obtained through an employer-based, Universityapplication (such as an H-1B), you should contact our Department Administrator (name) rightaway to discuss the submission of an application for extension of status. Please note that failureto apply for an extension of status in a timely manner may have serious consequences forcontinuing employment and obtaining an extension or re-issuance of a visa.If evidence of your continued eligibility to work is not presented by the current expirationdate, (expiration date), we will not be able to continue your employment after that date. The lawprohibits the University from continuing to employ an individual who has not provideddocumentation of continued work authorization.You should begin the process to secure any documentation needed as evidence of yourextended or continuing work authorization at this time.Sincerely,Chair/Director46

SAMPLE LETTER 7 day Reverification NoticeOn department letterheadLetter to employee whose I-9 Form will expire in seven daysDateURGENTDear ____:On (date), you were notified that your employment authorization will expire on(expiration date). The Immigration Reform and Control Act of 1986, 8 U.S.C. § 1324a, requiresemployers to reverify the work authorization of all employees whose work authorization expires.Therefore, in order to update your I-9 Form, you were informed of the need to present evidenceof your extended or continuing work authorization to (contact) by (date).Because the necessary documentation has not yet been provided, I must meet with youwithin the next three (3) days. If you are unable to provide evidence of work authorization by(expiration date), we will not be able to continue your employment after that date. The lawprohibits the University of Wisconsin – Madison from continuing to employ an individual whohas not provided documentation of continued work authorization. Please note that if you appliedfor an extension of status in a timely manner (for example, if an I-129 Form was filed for anextension of H-1B status with no changes in the terms and conditions of employment), thereceipt of your request for extension may be permissible as temporary evidence of workauthorization. You should contact International Faculty and Staff Services (265-2257) for moreinformation about this.We value your work in the department and hope this matter can be cleared up quickly sothat your employment can continue.Sincerely,Chair/Directors:\ohr\dept\ifss\i-9 manual.doc47